The Newly Enforced Digital Operational Resilience Act (D.O.R.A) Regulation

- Οργάνωση/ Διοίκηση/ Ηγεσία - Soft Skills / Επικοινωνία - Χρηματοοικ. Ασφαλιστικά Τραπεζικά

29 Νοε 2023 10:00 29 Νοε 2023 16:00
Αγγλικά
5 ώρες ( 1 ημέρα )
The Newly Enforced Digital Operational Resilience Act (D.O.R.A) Regulation

ΠΕΡΙΓΡΑΦΗ

The course aims to provide a deep dive into the critical legislative package associated with the Digital Operational Resilience Act (DORA), which has recently come into force, and is designed to addresses a key risk factor in the EU digital space:  cyberattacks and ICT disruptions in the EU financial sector.  These risks have been a concern for Europe’s bank and securities regulators for many years, notably the ECB, the EBA and ESMA. 

This long overdue piece of legislation now consolidates a patchwork of existing sectoral rules on ICT risk management, incident handling and resilience testing. Critically, and core to the thrust of DORA, is the explicit recognition on the reliance by financial services entities on third party ICT service providers. Oversight of 3rd party ICT service providers will fall to the ESA’s (EBA, ESMA and EIOPA). 

ESMA is also currently drafting technical standards, following DORA’s entry into force on 16 January 2023, with application scheduled for 17th January 2025.

 An overview of the complex nature of the EU legislative process and the key EU Institutions involved in the development of the DORA regulatory text will be examined during the course, covering:

  • The shift from operational risk mainly with the allocation of capital to managing all components of operational resilience.
  • The DORA rules for the protection, detection, containment, recovery and repair capabilities against ICT-related incidents.
  • Identifying the DORA explicitly referenced ICT risks via new sets rules on ICT risk-management, incident reporting, operational resilience testing and ICT third-party risk monitoring.

ΣΚΟΠΟΣ ΣΕΜΙΝΑΡΙΟΥ

The course offers the opportunity to:

  • Acquire a structure understanding of the current EU legislative landscape and priorities in relation to the DORA legislative package
  • Become sufficiently conversant in the broad details of the key pieces of current EU FS legislation to engage in a discussion with their professional peers, regulators and apply the knowledge in reviewing the impact on their business models, compliance expectations and obligation 

More specifically, by the end of the course participants will:

  • Understand the EU Institutional decision-making process from the EC proposal stage on both legislative packages to ratification by the EU Parliament and Council
  • Identify the various key provisions under the DORA legislative text that will have a direct impact on the firm’s compliance framework and that of its outsourced ITC providers
  • Identify the new requirements and challenges under the DORA  framework designed to strengthen cross-border monitoring of ITC systems and outsourced structures
  • Build an awareness of the modified roles of Pan-EU supervisors in terms of monitoring, requests for information, reporting requirements, on-site inspections, with more assertive powers by the ESAs
  • Learn how the scaled-up harmonisation and coordination of ESAs supervisory practices in the management of the firms ITC operations will affect your business
  • Develop awareness of how the EU intends to monitor DORA requirements with third countries considered to be ‘high-risk’ jurisdictions.
  • Be capable of anticipating questions and queries via the new ESA’s role in monitoring DORA application and compliance

ΣΕ ΠΟΙΟΥΣ ΑΠΕΥΘΥΝΕΤΑΙ

The course is addressed to:  

  • Chief AML Officers
  • CFOs
  • Regulatory Compliance Officers
  • National Supervisors
  • Financial Services Trade Bodies
  • Chief Legal Officers
  • Internal ITC Specialist
  • Chief Data Officers
  • COOs

ΠΕΡΙΣΣΟΤΕΡΕΣ ΠΛΗΡΟΦΟΡΙΕΣ

Training Outline

 – Background on DORA legislative packages

  • scope exemptions, definitions, supervision, reporting/compliance

 

– Outline of uniform requirements concerning the security of network and information systems supporting the business processes of financial entities: 

A. requirements applicable to financial entities in relation to:

  • information and communication technology (ICT) risk management
  • reporting of major ICT-related incidents and notifying, on a voluntary basis, significant cyber threats to the competent authorities
  • reporting of major operational or security payment-related incidents to the competent authorities by financial entities referred to in Article 2(1), points (a) to (d)
  • digital operational resilience testing
  • information and intelligence sharing in relation to cyber threats and vulnerabilities
  • measures for the sound management of ICT third-party risk

 

B. requirements in relation to the contractual arrangements concluded between ICT third-party service providers and financial entities 

  • DORA application framework vis-à-vis critical third parties which provide ICT-related services to financial entities in terms of digital operational resilience, requiring all firms ensuring that they can withstand, respond to and recover from all types of ICT-related disruptions and threats.
  • A review of the critical third-country ICT service provider rules vis-à-vis provision of services to financial entities in the EU (required to establish a subsidiary within the EU so that oversight can be assured)
  •  A review of the DORA oversight framework, which provides for an additional joint oversight network to l strengthen the coordination between the European supervisory authorities (ESAs) on this cross-sectoral topic


Training Style  

The programme is designed to deliver high-level knowledge and insights into the EU financial services regulatory agenda and developments. It will strive to enhance participants’ skills and knowledge via power-point presentations and practical examples. 

The training style is both training-focused, involving a combination of presentation and real-live examples, but also learner-focused, where participants are encouraged to share their experiences, raise questions, seek clarifications and share their opinions from their different perspectives.

 

CPD Recognition 

This programme may be approved for up to 5 CPD units in Financial Regulation.  Eligibility criteria and CPD Units are verified directly by your association, regulator or other bodies which you hold membership.

Πληροφορίες Εκπαιδευτή
David Doyle - EU policy expert specializing in financial services legislation

David Doyle is EU policy expert specializing in financial services legislation, covering banking, insurance and securities regulation, based on mainland Europe. He is a long-standing board member of the joint MEP-stakeholder advocacy body, The Kangaroo Group, as well as being the secretary to its Financial Services Working Group at the European Parliament. He is a former long-serving diplomat based on mainland Europe, spanning both multilateral and bilateral assignments. His authored works include Cost Control—A Strategic Guide (CIMA/Elsevier: London, 1994 and 2002) which was translated into 15 foreign languages, as well as contributing EU chapters to The Future of Finance after SEPA (Wiley: London, 2008), and A Practical Guide to Corporate Governance (Sweet & Maxwell: London, 2010 and 2014). His academic activities include lecturing in Management Control as an adjunct assistant professor at Paris-based institutions like the American University, HEC, ESSEC and ESCP

Αναλυτικό Κόστος Σεμιναρίου
  • € 220.00
  • € 0.00
  • € 41.80
  • € 220.00

Κοστολογικές Πληροφορίες

HRDA-approved seminars are exempted from VAT for eligible organisations applying for the HRDA subsidy. A 19% VAT will apply to seminars and participants who do not qualify for the HRDA subsidy

ΠΡΟΓΡΑΜΜΑ ΣΕΜΙΝΑΡΙΟΥ

Τετάρτη - 29 Νοε 2023

Ώρα

10:00 - 16:00

ΕΚΠΑΙΔΕΥΤΗΣ:

David Doyle

Τοποθεσία:

OnLine Virtual Classroom

Εκδήλωση Ενδιαφέροντος : The Newly Enforced Digital Operational Resilience Act (D.O.R.A) Regulation

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AAT - Financial Accounting: Preparing Financial Statements...

This course teaches students how to prepare financial statements, such as profit or loss statements and balance sheets for sole traders and partnerships, starti...

31/01/2025 11:32

Αγγλικά

eLearning

AAT - Internal Accounting Systems and Controls...

This course equips students with the skills to protect organizations from employee fraud by evaluating and improving internal control systems. Students will lea...

31/01/2025 11:32

Αγγλικά

eLearning

AAT - Introduction to Bookkeeping...

This course introduces students to both manual and digital bookkeeping systems, focusing on their documents, processes, and basic principles such as double-entr...

31/01/2025 11:32

Αγγλικά

eLearning

AAT - Personal Tax...

This course provides students with a fundamental understanding of the three most common taxes in the United Kingdom: income tax, capital gains tax, and inherita...

31/01/2025 11:32

Αγγλικά

eLearning

AAT - Principles of Costing...

This course introduces students to basic costing principles, laying the groundwork for more advanced topics in costing and management accounting. It highlights ...

31/01/2025 11:32

Αγγλικά

eLearning

AAT - Tax Processes for Businesses...

This course teaches students the tax processes essential for daily business operations, focusing on understanding, preparing, and submitting Value Added Tax (VA...

31/01/2025 11:32

Αγγλικά

eLearning

AAT - Business Awareness...

This course introduces students to the fundamentals of business, its environment, and how this influence organizational structure, the accounting function, and ...

31/01/2025 11:32

Αγγλικά

eLearning

AAT - Principles of Bookkeeping Controls...

This course expands on prior bookkeeping knowledge, focusing on control accounts, journals, and reconciliations. It teaches students about the processes that ve...

31/01/2025 11:32

Αγγλικά

eLearning

CySEC 10 CPD Bundle 3...

The course includes: ICAAP – Internal Capital Adequacy Assessment Process Financial Crime Risk Management Ethics and Compliance ...

31/01/2025 11:32

Αγγλικά

eLearning

CySEC 15 CPD Bundle 2...

The course includes: The Fund Industry: Latest Regulatory Framework Sustainable Finance Disclosure Regulation (SFDR) and other ESG Initiatives ...

31/01/2025 11:32

Αγγλικά

eLearning

Fundamentals of Environmental, Social & Governance (ESG) Reporting & C...

Generally speaking, sustainable finance can be defined as the process of considering Environmental, Social and Governance (ESG) factors when making investment d...

31/01/2025 11:32

Αγγλικά

eLearning

AML Risk Assessment...

Description Risk assessment enables financial institutions to focus on their AML/CFT efforts and adopt appropriate measures to allocate the necessary resources ...

31/01/2025 11:32

Αγγλικά

eLearning

Corporate and Social Responsibility for Law Firms...

The legal profession is increasingly recognizing its role in addressing social and environmental challenges. This course explores the concept of corporate socia...

31/01/2025 11:32

Αγγλικά

eLearning

Conflict of Interest (COI)...

Conflict of Interest Course (FCA) This course provides staff with an understanding of Conflict of Interest, the laws and regulations that make it illegal, and t...

31/01/2025 11:32

Αγγλικά

eLearning

Regulatory Fundamentals for the Financial Services Sector...

Description This course offers a comprehensive review of the major regulations, directives and regimes of financial firms. It includes MiFID II, EMIR, Anti-M...

31/01/2025 11:32

Αγγλικά

eLearning

AGRC Certificate in AML...

The AGRC’s AML Certificate’s Curriculum AGRC’s AML Certificate covers the following specific topics: – Money laundering methods, techniques, red flags and...

31/01/2025 11:32

Αγγλικά

eLearning

AML 4th and 5th Directives Overview...

When the EU issues an anti money laundering directive, it also sets an implementation date by which appropriate AML/CFT legislation must be in place within memb...

31/01/2025 11:32

Αγγλικά

eLearning

Anti-Money Laundering and Counter Terrorist Finance...

This course provides staff with an understanding of the process of money laundering, the laws and regulations that make it illegal, and the responsibilities of ...

31/01/2025 11:32

Αγγλικά

eLearning

Financial Instruments and Products...

Description This course offers a condensed review of the financial services sector, with a specific focus on equities, stocks, bonds, derivatives and other f...

31/01/2025 11:32

Αγγλικά

eLearning

Anti-Bribery and Corruption...

Anti-bribery and anti-corruption legislation globally has existed for some time, though enforcement is becoming more aggressive. There is heightened regulatory ...

31/01/2025 11:32

Αγγλικά

eLearning

AAT – Applied Management Accounting...

This course, integral to the Level 4 Diploma in Professional Accounting, equips students with advanced management accounting skills focused on three core areas:...

31/01/2025 11:32

Αγγλικά

eLearning

Market Abuse and Regulation...

Description This course will provide a comprehensive review of Market Abuse and the respective regulatory environment. It will cover inside information and i...

31/01/2025 11:32

Αγγλικά

eLearning

European Market Infrastructure Regulation (EMIR) Overview...

Description This course offers a comprehensive overview of the EMIR. It addresses the EMIR requirements, the types of counterparties and the clearing obligat...

31/01/2025 11:32

Αγγλικά

eLearning

UCITS - Undertakings for Collective Investments in Transferable Securi...

Description This course offers a comprehensive introduction to the Undertakings for Collective Investments in Transferable Securities (UCITS). It addresses t...

31/01/2025 11:32

Αγγλικά

eLearning

AAT - Management Accounting Techniques...

This course equips students with the skills to understand and apply management accounting within organizations, enhancing decision-making processes. Students wi...

31/01/2025 11:32

Αγγλικά

eLearning

MiFID II Overview...

Description This course offers a brief overview of MiFID II. It addresses the changes to the market structure under MiFID and MiFID II, and provides a sound ...

31/01/2025 11:32

Αγγλικά

eLearning

Establishing and Maintaining a Strong CDD Programme...

A key concern and significant risk for financial institutions is the possibility of unknowingly becoming complicit in money laundering, whereby illegitimate mon...

31/01/2025 11:32

Αγγλικά

eLearning

The Fund Industry: Latest Regulatory Framework...

Description This course offers a comprehensive introduction to AIF, AIFM, AIFMD, and UCITS. It addresses the various categories and legal forms of AIFs, the ...

31/01/2025 11:32

Αγγλικά

eLearning

Creating a Compliance Culture in Financial Services (2 CPDs)...

Course Overview The aim of this self-paced eLearning course is to equip financial professionals, leaders, and compliance professionals with a comprehensive ...

31/01/2025 11:32

Αγγλικά

eLearning

CISI Global Financial Compliance...

Description Global Financial Compliance will provide you with a broad understanding of the compliance issues that arise within the financial services sector....

31/01/2025 11:32

Αγγλικά

eLearning

Budgets and Financial Reports...

Money matters can be intimidating for even the smartest people. However, having a solid understanding of basic financial terms and methods is crucial to yo...

31/01/2025 11:32

Αγγλικά

eLearning

Fundamentals of Risk Management...

Description This course offers a condensed review of risk management, with a specific focus on operational, credit and market risks. The course also covers r...

31/01/2025 11:32

Αγγλικά

eLearning

AML Suspicious Activity Reports and Suspicious Transaction Reports (SA...

This self-paced, online course provides an overview of AML, the measures needed for efficient AML controls, Suspicious Transaction Monitoring, and Suspicious Ac...

31/01/2025 11:32

Αγγλικά

eLearning

CySEC 20 CPD Bundle 4...

The course includes: Anti-Bribery and Anti-Corruption Anti-Money Laundering and Terrorism Financing Fundamentals Corporate Governance for Financial In...

31/01/2025 11:32

Αγγλικά

eLearning

Risk Based Approach (RBA) to Anti Money Laundering...

This course aims to describe and explain the Risk-Based Approach (RBA) procedures so that the firms focus their efforts on those areas where the risk of ML a...

31/01/2025 11:32

Αγγλικά

eLearning

Practical Aspects of the Compliance Function...

Description This course offers a practical review of the compliance function. It addresses the roles, responsibilities and mission of the compliance officer,...

31/01/2025 11:32

Αγγλικά

eLearning

CySEC 20 CPD Bundle 3...

The course includes: ICAAP – Internal Capital Adequacy Assessment Process Fundamentals of Environmental, Social & Governance (ESG) Reporting & Complianc...

31/01/2025 11:32

Αγγλικά

eLearning

Cyber Security Essentials...

We’re in an era that relies on technology more than eve. Aside from being a constant presence in our daily lives, it’s become ingrained in many of our business ...

31/01/2025 11:32

Αγγλικά

eLearning

SM&CR — The Conduct Rules...

An online e-learning primer aimed as an introductory overview for those working in FCA-regulated firms to enable them to understand the Conduct Rules within ...

31/01/2025 11:32

Αγγλικά

eLearning

CySEC 15 CPD Bundle 8...

The course includes: Advanced Anti-Money Laundering for Financial Institutions International Economic Sanctions Product Governance, Suitability and Ap...

31/01/2025 11:32

Αγγλικά

eLearning

AIF and AIFM...

Description This course offers a comprehensive introduction to Alternative Investment Funds (AIF) and to Alternative Investment Fund Managers (AIFM) It addre...

31/01/2025 11:32

Αγγλικά

eLearning

AGRC Certificate in Compliance...

Faced with increasingly regulated environment, this programme offers insight into good compliance practices and the skills to lead effective compliance programm...

31/01/2025 11:32

Αγγλικά

eLearning

Anti-Money Laundering and Terrorism Financing Fundamentals...

Effective Anti-Money Laundering (AML) programs – to ensure AML compliance — are a fundamental requirement for obliged entities. Ensuring effective policies, pro...

31/01/2025 11:32

Αγγλικά

eLearning

CySEC 10 CPD Bundle 7...

The course includes: International Economic Sanctions Know your Client (KYC) and Customer Due Diligence (CDD) Training Duration ...

31/01/2025 11:32

Αγγλικά

eLearning

CySEC 20 CPD Bundle 1...

The course includes: Risk Based Approach (RBA) to Anti Money Laundering AML Suspicious Activity Reports and Suspicious Transaction Reports (SAR/STRs) ...

31/01/2025 11:32

Αγγλικά

eLearning

EKK (CySEC) Ερωτήσεις Προετοιμασίας Βασικής Εξέτασης...

Περιγραφή  Τρεις (3) Εξετάσεις Ποετοιμασίας για τη Βασική Εξέταση της Επιτροπής Κεφαλαιαγοράς Κύπρου (ΕΚΚ) στα Ελληνικά..  ...

31/01/2025 11:32

Ελληνικά

eLearning

CySEC 10 CPD Bundle 6...

The course includes: Financial Regulation: The International Regulatory Environment Governance, Risk Management and Compliance Digital Operational Res...

31/01/2025 11:32

Αγγλικά

eLearning